Professor Jeroen van der Heijden | Chair in Regulatory Practice | School of Government | Victoria University of Wellington The nature and future of Regulatory Stewardship www.RegulatoryFrontlines.wordpress.com
• How it took 4,000+ years to get to Regulatory Stewardship Kia ora • Stewardship elsewhere • What Regulatory Stewardship could be – light, regular and plus www.RegulatoryFrontlines.wordpress.com
• Codex Hammurabi • Ca 1750 BC Evolution of • System of prescriptive rules regulation and penalties for non-compliance www.RegulatoryFrontlines.wordpress.com
• Codex Hammurabi • If a builder builds Evolution of a home • And the home regulation falls down and kills its owner • Then the builder shall be killed www.RegulatoryFrontlines.wordpress.com
• Greek and Roman influence Evolution of (ca. 600 BC – 600 AD) • Further codification of regulation rules and penalties • Focus on commerce, property and bodily harm www.RegulatoryFrontlines.wordpress.com
• Greek and Roman influence Evolution of (ca. 600 BC – 600 AD) • Rules given by deities and/or regulation inspired by nature www.RegulatoryFrontlines.wordpress.com
• Middle ages (ca. 600 – 1600 AD) Evolution of • The body as target of punishment regulation • Deterrence becomes a spectacle www.RegulatoryFrontlines.wordpress.com
• Middle ages (ca. 600 – 1600 AD) Evolution of • Ultimate surveillance and judgement regulation www.RegulatoryFrontlines.wordpress.com
• Renaissance, Enlightenment, and Evolution of Early Modernity (16 th – 19 th C) • Birth of leniency regulation • Punishment becomes an administrative ritual to correct www.RegulatoryFrontlines.wordpress.com
• Renaissance, Enlightenment, and Evolution of Early Modernity (16 th – 19 th C) • Globalization of a regulation specific type of regulation www.RegulatoryFrontlines.wordpress.com
• For more than 3,700 years ‘regulation’ In sum meant: • Hierarchy • Intrusive • Deterrence based • Prescriptive • Static • One size fits all • Yet, from beginning of 20 th Century onward, regulatory friction becomes problematic www.RegulatoryFrontlines.wordpress.com
• 1950s onward • Growing awareness of Paradigm risks from industrialization shifts • Growing awareness of human behaviour • Growing awareness of cost of regulation www.RegulatoryFrontlines.wordpress.com
• Insights that people do not just comply because they ‘fear’ consequences of non- Paradigm compliance shift #1 • Move towards compliance- based regulation and positive incentives Compliance • Mixing of strategies (e.g. based Responsive Regulation) regulation • Ca. 1970s onward www.RegulatoryFrontlines.wordpress.com
• Growing externalities (risks) because of industrialization and globalization Paradigm • Call on governments to be shift #2 cost-effective (New Public Management) Risk • Risk-based regulation as an approach to regulatory regulation governance • Ca. 1980s onward www.RegulatoryFrontlines.wordpress.com
• Performance and goal-based regulation Paradigm • Call on government to stimulate innovation shift #3 • Challenge between freedom and certainty Outcome oriented regulation • Ca. 1990s onward www.RegulatoryFrontlines.wordpress.com
• Collaborative and deliberative rule-making and implementation Paradigm • Delegation, privatization, and shift #4 contracting out of regulatory tasks to 3 rd parties (regulatory intermediaries) Inclusive • Finding a balance between regulation collaboration and capture • Ca. 1990s onward www.RegulatoryFrontlines.wordpress.com
• Growing critique to neo- classical model of rationality Paradigm • Heuristics and biases shape behaviour shift #5 • ‘Nudge’ choice rather than limit choice Behavioural regulation • Ca. 2000s onward www.RegulatoryFrontlines.wordpress.com
• Over the last 50 years ‘regulation’ has In sum become to mean: • Panarchy • Collaborative • Mixed incentives • Goal based • Flexible • Tailored • Response to ongoing calls for less regulatory friction and more regulatory facilitation www.RegulatoryFrontlines.wordpress.com
• Regulatory failure? In sum • Too much regulatory complexity? • Too much facilitation? www.RegulatoryFrontlines.wordpress.com
• Over the last 50 years ‘regulation’ has In sum become to mean: • Panarchy • Collaborative • Mixed incentives • Goal based • Flexible • Tailored • Response to ongoing calls for less regulatory friction and more regulatory facilitation www.RegulatoryFrontlines.wordpress.com
4,000 years • Over the last 50 years ‘regulation’ has In sum become to mean: • Panarchy • Collaborative • Mixed incentives • Goal based • Flexible • Tailored • Response to ongoing calls for less regulatory friction and more regulatory facilitation www.RegulatoryFrontlines.wordpress.com
4,000 years • Over the last 50 years ‘regulation’ has In sum become to mean: • Panarchy • Collaborative • Mixed incentives • Goal based • Flexible • Tailored 50 years • Response to ongoing calls for less regulatory friction and more regulatory facilitation www.RegulatoryFrontlines.wordpress.com
• Administrative Procedure Act and Regulatory Accountability Act (USA): Reform • Efficiency, transparency, accountability option #1 • Benefit-cost analyses • Ethics on data collection Lean • One in, one out (IOOO rule) regulation www.RegulatoryFrontlines.wordpress.com
• Systems thinking • Horizontal coordination Reform • Collaboration and option #2 deliberation in rule-making and implementation Better • Regulatory review and update regulation www.RegulatoryFrontlines.wordpress.com
• Monitoring, review and reporting of existing regulatory systems Reform • Robust analysis and option #3 implementation for changes to regulatory systems Regulatory • Good regulatory practice stewardship www.RegulatoryFrontlines.wordpress.com
• Different responses to similar challenges In sum • All responses are, to some extent, experiments in progress www.RegulatoryFrontlines.wordpress.com
• Spiritual and religious epistemologies and ethics • e.g., Abrahamic religions Stewardship • First Peoples’ epistemologies elsewhere and ethics • e.g., kaitiakitanga Custom and • Political and moral philosophy since the Enlightenment spirituality • e.g., social contract • e.g., Kant’s categorical imperative www.RegulatoryFrontlines.wordpress.com
• Constitutional stewardship • Environmental stewardship Stewardship • Health stewardship elsewhere • Ethical stewardship Various • Stewardship theory disciplines www.RegulatoryFrontlines.wordpress.com
• Regulatory stewardship • Regulatory trust Stewardship • Bratspies (2009) elsewhere • Responsible regulation, meta-stewardship • Brownsword (2011) Regulatory • Regulatory orchestration governance • Pegram (2017) www.RegulatoryFrontlines.wordpress.com
• Stewardship is a fluid, outward looking idea In sum • Stewardship • structure (systems) and • agency (individuals and communities) • Stewardship as a mode of (regulatory) governance can be thought of as a sliding scale… www.RegulatoryFrontlines.wordpress.com
Guardian Patriarchy Coaching Husbandry In sum Service Parenting Sovereign Herding Caretaker Trusteeship More authority Less authority and control and control • Stewardship as a mode of (regulatory) governance can be thought of as a sliding scale… www.RegulatoryFrontlines.wordpress.com
• NZ focus on regulatory stewardship Future of • Sits between USA and EU/UK regulatory reforms Regulatory • Mainly structure focus stewardship • More inward than outward • Stewardship ‘light’ looking • Necessary but not sufficient www.RegulatoryFrontlines.wordpress.com
• More comprehensive focus on regulatory stewardship Future of • Minimum competence requirements for all levels Regulatory • Recognized community of regulatory professionals stewardship • Stewardship ‘regular’ • Genuine participation with stakeholders (external and internal) www.RegulatoryFrontlines.wordpress.com
• The hard questions • Social license to regulate? Future of • Ethical stewardship Regulatory relationship between gov’t and regulatory staff? stewardship • Nurture a culture of voicing • Stewardship ‘plus’ the internal good and bad? • Public accountability of higher levels? www.RegulatoryFrontlines.wordpress.com
• The hard questions “Stewardship questions the Future of assumptions that accountability and control [through authority] Regulatory go hand in hand. [It] asks us to forsake caretaking stewardship [because] we do not serve • Stewardship ‘plus’ [others] when we take responsibility for their well- being.” Peter Block, 2013 www.RegulatoryFrontlines.wordpress.com
Professor Jeroen van der Heijden Chair in Regulatory Practice Thank you. School of Government Victoria University of Wellington Questions? Honorary Professor School of Regulation and Global Governance Australian National University jeroen.vanderheijden@vuw.ac.nz www.RegulatoryFrontlines.wordpress.com www.RegulatoryFrontlines.wordpress.com
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